Check Out Your Broker or Adviser

Invest Wisely: Advice From Your Securities Industry Regulators. Before making a securities investment, you must decide which brokerage firm and sales representative-also referred to as a stockbroker, account executive, or registered representative-to use.http://www.sec.gov/investor/pubs/inws.htm

Protect Your Money: Check Out Brokers and Advisers. Before you invest, make sure your brokers, investment advisers, and investment advisers' representatives are licensed to sell securities.http://www.sec.gov/investor/brokers.htm

Research Your Company's Stock

Getting Info About Companies. Learn how to get information about companies from a variety of sources; this publication covers corporate reports, reference books, and commercial databases that provide information.http://www.sec.gov/investor/pubs/companies.htm

Information Matters. This publication describes the information you should review before you invest, provides tips on how to find information about companies and lists several "red flags" to avoid.http://www.sec.gov/answers/infomatters.htm

Information About Some Companies Not Available From the SEC. The federal securities laws require most publicly traded companies to register their securities and file reports with the SEC. This document describes how investors can find information on privately held companies and companies that are exempt from the SEC's registration requirements.http://www.sec.gov/answers/noinfo.htm

Help and How to File a Complaint at the SEC

SEC Center for Complaints and Enforcement Tips. Report suspicious activity, file a complaint about a financial professional or an investment product, or ask questions. The division of Enforcement and The Office of Investor Education and Advocacy created the SEC complaint center to address your concerns.http://www.sec.gov/complaint.shtml

The SEC's Office of Investor Education and Advocacy. Our office acts as your gateway to the SEC. We cannot tell you what investments to make, but we can tell you how to invest wisely and protect your hard earned investment dollars from securities fraud and abuse. If you have suffered wrongdoing at the hands of a bad broker or investment adviser, we want to hear from you.http://www.sec.gov/investor/pubs/aboutoiea.htm

The Investor's Advocate: How the SEC Protects Investors and Maintains Market Integrity. The laws and rules that govern the securities industry in the United States derive from a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it.http://www.sec.gov/about/whatwedo.shtml